Daniel J. Roger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Joseph Roger, who also goes by Daniel Josephj Roger, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2019 - September 6, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
January 4, 2017 - July 1, 2019
TRANSAMERICA CAPITAL, LLC
March 11, 2008 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
April 8, 2003 - February 12, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
January 11, 2000 - April 1, 2003
PRINCIPAL SECURITIES, INC.
December 11, 1991 - November 22, 1999
MML INVESTORS SERVICES, LLC
September 12, 1986 - December 31, 1988
INVESTORS BROKERAGE SERVICES, INC.
May 7, 1984 - December 9, 1991
INVEST FINANCIAL CORPORATION
June 24, 1983 - May 24, 1984
MORGAN STANLEY DW INC.
May 24, 1982 - May 27, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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